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For Market Participant Advisers - ASX/Chi-X Regulation - An Introduction

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Description

This course highlights and explains the relevant Market Integrity Rules ("MIRs") that persons who provide advice to clients as Representatives of Market Participants of the ASX and/or Chi-X should understand and comply with.

You are a Representative of a Market Participant if you are:
• an Authorised Representative of the Market Participant;
• an Employee the Market Participant; or
• any other person acting on behalf of the Market Participant or a related body corporate of the Market Participant.

In keeping with the MIRs, this course will use the term Representative when referring to the persons listed above.

Copyright
You have permission to post this, email this, print this, copy this for fair use as long as you make no changes or edits to its original contents or digital format. We reserve the right to bind it and sell it as a book.

Disclaimer
This course should be used as a guide only and not meant to replace any specific advice from your employer. Please be sure to take specialist advice if you are in doubt. MIntegrity, its employees and contractors disclaim all and any liability to any persons whatsoever in respect of anything done by any person in reliance, whether whole or in part, on this e-learning course.

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Content
  • Introduction - Learning Outcomes
  • MArkets regulation overview
  • Regulation – Market Operators
  • Regulation – Market Participants
  • Licensing Obligations
  • Knowledge Check – Markets Regulation
  • rules and regulations
  • ASIC Rules and Regulations
  • Market Operator Rules and Procedures
  • Knowledge Check – Equity Markets Rules and Regulations
  • Knowledge Check – Market Operator Rules and Regulations
  • Supervision and Risk Management
  • Responsible Manager Requirements
  • Responsible Manager Knowledge and Skills options
  • AFSL and MIR requirements
  • Conflicts Management
  • Designated Trading Representatives ("DTRs")
  • Knowledge Check – Supervision & Risk Management
  • Market Participants - Client Obligations
  • Client Obligations - Client protections
  • Client Obligations - Trading with a Client as Principal
  • Client Obligations - Client Instructions
  • Client Obligations - Client Money and Property
  • Client Obligations - Dispute Resolution
  • Client Obligations - Prohibited advice to clients
  • Client Obligations - Prohibited advice exception - Chinese Walls
  • Knowledge Check - Client Instructions
  • Knowledge Check – Client Money and Property
  • Accredited Derivatives Advisers
  • Accredited Derivatives Advisers
  • Accredited Derivatives Advisers - Types of Accreditation
  • Accredited Derivatives Advisers – How to become Accredited
  • Accredited Derivatives Advisers – Withdrawal of accreditation
  • Knowledge Check – Accredited Derivatives Advisers
  • Client Orders & Trading
  • Client Orders – Best Execution
  • Client Orders – Best Execution – No Inducement
  • Client Orders – Demonstrating Best Execution
  • Client Orders – Order confirmations
  • Trading Obligations
  • Trading Obligations - Trading Types
  • Trading Obligatons - Trading Records
  • Knowledge Check – Best Execution
  • Knowledge Check - Order confirmations
  • Knowledge Check – Trading Obligations
  • Trading Principles - Prohibited Conduct
  • General conduct obligations and manipulation
  • Market manipulation – Corporations Act
  • Market manipulation – Market Integrity Rules
  • Market manipulation - What is a Principal
  • Market manipulation – Circumstances of Orders
  • Market manipulation – Market Summary
  • Fair and orderly markets
  • Conduct - Futures Market Transactions
  • Knowledge Check – Manipulation MIRs
  • Knowledge Check – Market manipulation
  • Knowledge Check – Fair and orderly Markets
  • Short Selling
  • Short Selling - Requirements
  • Short Selling – ASIC Reporting
  • Short Selling – ASX Reporting
  • Knowledge Check – Short Selling
  • Governance, Escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self-Reporting
  • Suspicious Activity Reporting
  • Knowledge Check – Escalation
  • Knowledge Check – Self Reporting
  • Knowledge Check – Suspicious Activity Reporting
  • Consequences of Misconduct
  • Consequences of Misconduct
  • Knowledge Check – Consequences of Misconduct
  • Summary Quiz
  • Summary Quiz
  • Accredited Derivatives Advisers - How to become Accredited (clone) (clone) (clone)
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year